In the Media

Financial Advisor (April 16, 2021) - A bill introduced yesterday would prohibit broker-dealers and advisors from making clients sign mandatory arbitration agreements. The Investor Choice Act would…
JD Supra (March 18, 2021) - The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic. On March 25, 2020, FINRA…
Dollars & Sense (March/April 2021) - The notion that making financial advisors freer to pursue their own self-interest is what’s best for workers and retirees must have even Adam Smith turning…
Financial Advisor, January 27, 2021 - The Financial Industry Regulatory Authority is investigating some brokers who took forgivable Paycheck Protection Program (PPP) loans and other aid for pandemic…